Common Application Form App. No. Time Stamp Please refer to the general instructions for assistance and complete all sections in English. For legibility, please use BLOCK LETTERS in black or dark ink. Distributor/RIA Code Sub-Distributor ARN EUIN Branch Code Relationship Manager s Name ARN - 3280 Sub-Distributor Code Mobile +91- E-mail Initial Commission will be paid by the investor directly to the distributor, based on assessment of various factors including the service rendered by the Distributor. Transaction Charges SEBI (Mutual Fund) Regulations allow deduction of transaction charges of Rs. 100/- from your investment for payment to your distributor if your distributor has opted to receive transaction charges for investments sourced by him. The transaction charges deductible are Rs. 150/- if you are investing in Mutual Funds for the first time. If you are making a SIP Investment, the transaction charges would be deducted over 3-4 instalments. No transaction charges would be levied if you are not investing through a Distributor or your investment amount is less than Rs.10,000/- If this is the first time, you are investing in any mutual fund, please tick here Investor s Declaration where EUIN is not furnished I/We confirm that the EUIN box has been intentionally left blank by me/us as this is an execution only transaction without any interaction or advice by the employee/ relationship manager/sales person of the above distributor and/or notwithstanding the advice of inappropriateness, if any, provided by the employee/relationship manager/ sales person of distributor and the distributor has not charged any advisory fees on this transaction. Sole/1st Applicant 2nd Applicant 3rd Applicant 1. EXISTING UNIT HOLDER S INFORMATION (If you hold a Folio with L&T Mutual Fund, please furnish the below information and move to Investment & Payment Information section.) Name of Sole/1st Unit Holder Mr. Ms. M/s First Name Middle Name Last Name Folio No. PAN/PEKRN # KIN^ Date of Birth^ D D M M Y Y Y Y 2. NEW APPLICANT(S) PERSONAL INFORMATION Sole /1st Applicant Name Mr. Ms. M/s F i r s t M i d d l e L a s t PAN/PEKRN # KIN^ Date of Birth^ D D M M Y Y Y Y (Mandatory if first applicant is a minor) Guardian (For Minor Investments) / Contact Person (For Non-Individuals) Name Mr. Ms. F i r s t M i d d l e L a s t PAN/PEKRN # KIN^ Date of Birth^ D D M M Y Y Y Y Relationship with Minor Applicant Natural Guardian Court Appointment Guardian Proof of Date of Birth Birth Certifi cate Copy Passport Copy Aadhaar Card Copy Others (please specify) Proof of Relationship of Guardian Birth Certifi cate Copy Passport Copy Court Appointment Order Others (please specify) Mobile No. +91- E-mail Id* *Investors providing e-mail id will receive Account Statements, Annual Report & other communication over e-mail. If you however wish to receive this communication in your registered postal address, please tick here KYC is mandatory. Please enclose copies of KYC acknowledgement letters for all applicants. # PEKRN required for Micro investments upto Rs. 50,000 in a year. ^ 14 digit KYC Identification Number (KIN) and Date of Birth is mandatory for Individual(s) who has registered under Central KYC Records Registry (CKYCR). ADDRESS (Address as per KRA records will overwrite this address if you are KYC compliant) Correspondence Address Overseas Residence Address (Mandatory for NRIs/PIOs) City/Town State Country Pin City/Town State Country Pin Tel (R) (ISD) (STD) Tel (O) (ISD) (STD) Fax (ISD) (STD) Tax status of Sole/First Applicant (Please ) Resident Indian Individual Non Resident Indian Individual (NRI) Person of Indian Origin (PIO) Foreign Portfolio Investor (FPI) Foreign National Residing in India Company/Body Corporate Financial Institutions Limited Liability Partnership (LLP) Partnership Firm Foreign Institutional Investor (FII) Defence Establishment Hindu Undivided Family (HUF) Non Govt. Organization (NGO) Association of Persons (AOP)/Body of Individuals(BOI) Bank Society Mutual Fund Others Trust Are you a Non Profi t Organization (NPO) Yes No ACKNOWLEDGEMENT SLIP (To be filled in by the Applicant) Received from an application for investment in Scheme L&T Option Investment Type () Lumpsum SIP Micro SIP Multi-Scheme SIP Investment Cheque Details : Cheque No. Rs. Dated D D M M Y Y Y Y Drawn on Bank Branch City App. No. For Offi ce Use Only Acknowledgement Stamp & Date 1
BANK ACCOUNT INFORMATION (Mandatory for receiving Redemption/Dividend payments) Account Number Account Type Savings Current NRE NRO FCNR Others Bank Name Branch IFSC City MICR If you are not making the investment from the above mentioned bank account, please attach an original cancelled cheque leaf of the above account with the name of the first holder printed. 3. MODE OF HOLDING Please Sole/1st Holder only Any one or Survivor Joint (If the mode of operation is not specifi ed above, for folios opened with more than one applicant, the mode of operation would be taken as Any one or Survivor ) 4. DETAILS OF OTHER APPLICANT(S) (Please note that where the sole/1st applicant is a minor, no joint holders are allowed) 2nd Applicant Name Mr. Ms. F i r s t M i d d l e L a s t PAN/PEKRN # KIN^ Date of Birth^ D D M M Y Y Y Y Mobile No. +91- E-mail Id* 3rd Applicant Name Mr. Ms. F i r s t M i d d l e L a s t PAN/PEKRN # KIN^ Date of Birth^ D D M M Y Y Y Y Mobile No. +91- E-mail Id* KYC is mandatory. Please enclose copies of KYC acknowledgement letters for all applicants. # PEKRN required for Micro investments upto Rs. 50,000 in a year. ^ 14 digit KYC Identification Number (KIN) and Date of Birth is mandatory for Individual(s) who has registered under Central KYC Records Registry (CKYCR). 5. POWER OF ATTORNEY (PoA) HOLDER DETAILS If your investment is being made by a Constituted Attorney on your behalf, please furnish the below details and enclose a notarised copy of the Power of Attorney for registering the same: POA Holder s Name Mr. Ms. F i r s t M i d d l e L a s t POA for Sole / First Applicant Second Applicant Third Applicant E-mail Id PAN of POA Holder KIN^ Date of Birth^ D D M M Y Y Y Y (POA Holder needs to comply with applicable KYC requirements). ^ 14 digit KYC Identification Number (KIN) and Date of Birth is mandatory for Individual(s) who has registered under Central KYC Records Registry (CKYCR). 6. INVESTMENT & PAYMENT INFORMATION (Please ensure that the cheque complies to the CTS 2010 standards) Investment Type () Lumpsum SIP Micro SIP (Also fi ll & attach SIP Investment Form) For Lumpsum & SIP Investment (Please issue cheque favouring scheme name) Multi-Scheme SIP (Please fi ll Multi-Scheme SIP Investment Form) Scheme Name L&T Option () Growth* Dividend Reinvestment Dividend Payout Dividend Frequency (wherever applicable) Daily Weekly Monthly* Quarterly Annual^ Semi-Annual^ Payment Mode : Cheque / DD / Pay Order Electronic Transfer One Time Mandate (OTM) OTM Debit Mandate is already registered in the folio. Please fi ll, Unique Mandate Reference Number (UMRN) Debit Bank Name (Default plan / option / sup option will be applied incase of no information, ambiguity or discrepancy) Account No. Instrument No. Instrument Date D D M M Y Y Y Y UTR No. Investment Amount (`) Drawn On Bank Branch Bank Name Bank City DD Charges (if applicable `) Account Type Saving Current NRE NRO FCNR Net Amount (`) *Default option if not selected ^Available in select schemes only Document attached to avoid Third Party Payment rejection, where applicable : Banker s Certifi cate, for DD Third Party Declaration Subject to realisation of cheque and furnishing of mandatory information/documents. Please retain this slip till you receive your Account Statement. call 1800 2000 400 or 1800 4190 200 email investor.line@lntmf.co.in www.lntmf.com Please note our lines are open from 9 am to 6 pm, Monday to Friday and 9 am to 1 pm on Saturday 2
For Multi-Scheme SIP (Please issue cheque favouring L&T MF Multi-Scheme SIP) Scheme 1 Dividend Frequency L&T Option () SIP Amount (`) Growth* Dividend Payout Dividend Reinvestment Scheme 2 Dividend Frequency L&T Option () SIP Amount (`) Growth* Dividend Payout Dividend Reinvestment Scheme 3 Dividend Frequency L&T Option () SIP Amount (`) Growth* Dividend Payout Dividend Reinvestment Payment Mode : Cheque / DD / Pay Order Electronic Transfer Drawn On Bank Name Instrument No. Instrument Date D D M M Y Y Y Y UTR No. Bank Branch Bank City Investment Amount (`) Account Type Saving Current NRE NRO FCNR DD Charges (if applicable `) Net Amount (`) *Default option if not selected ^Available in select schemes only 7. DEMAT ACCOUNT INFORMATION (Mandatory for crediting units in demat account) If you wish to hold your investment in dematerialised mode please furnish the below details and enclose a copy of the Client Master that you may have received from your Depository Participant. Depository (Please any one) NSDL OR CDSL Depository Participant Name Depository Participant ID Benefi ciary A/c No. 8. KYC DETAILS (Mandatory. If left blank the application is liable to be rejected) Gross Annual Income (For Individuals and Non Individuals) For First Applicant/ Guardian For Second Applicant For Third Applicant Below 1 lac 1-5 Lacs 5-10 Lacs 10-25 Lacs 25 Lacs - 1 crore > 1 Crore Net-worth (`) as on D D / M M / Y Y Y Y (Not older than 1 year) (Mandatory for Non-Individuals) Below 1 lac 1-5 Lacs 5-10 Lacs 10-25 Lacs 25 Lacs - 1 crore > 1 Crore Net-worth (`) as on D D / M M / Y Y Y Y (Not older than 1 year) Below 1 lac 1-5 Lacs 5-10 Lacs 10-25 Lacs 25 Lacs - 1 crore > 1 Crore Net-worth (`) as on D D / M M / Y Y Y Y (Not older than 1 year) Occupation Details (For Individuals only) For First Applicant/ Guardian For Second Applicant For Third Applicant Private Sector Service Public Sector Service Government Service Business Professional Housewife Retired Student Forex Dealer Agriculturist Others Please specify Private Sector Service Public Sector Service Government Service Business Professional Housewife Retired Student Forex Dealer Agriculturist Others Please specify Private Sector Service Public Sector Service Government Service Business Professional Housewife Retired Student Forex Dealer Agriculturist Others Please specify Others (For Individuals only) For First Applicant/ Guardian I am politically Exposed Person I am Related to Politically Exposed Person Not Applicable For Second Applicant I am politically Exposed Person I am Related to Politically Exposed Person Not Applicable For Third Applicant I am politically Exposed Person I am Related to Politically Exposed Person Not Applicable Is the company a Listed Company or Subsidiary of Listed Company or Controlled by a Listed Company YES NO Others (For Non-Individuals only) (If No, please attach Ultimate Benefi ciary Ownership Declaration mandatorily) If the Entity involved/providing any of the following services: Gaming/Gambling/Lottery/Casino Services YES NO Foreign Exchange/ Money Changer Services YES NO Money Lending/Pawning YES NO 3
9. INFORMATION REQUIRED FOR TAX REPORTING (Mandatory. If left blank the application is liable to be rejected) FOR INDIVIDUALS: The below information is required for all applicant(s)/guardian including Sole proprietor and POA Holder. I am a tax resident of India and not a resident of any other country If No, please mandatorily enclose the FATCA & CRS Declaration for Individual Investors. Sole/First Applicant/Guardian Second Applicant Third Applicant POA Holder Yes Yes Yes Yes No No No No FOR NON-INDIVIDUALS: Please mandatorily enclose the FATCA, CRS & UBO Declaration for Non Individuals with all the sections filled. 10. NOMINATION DETAILS (Please note that where the sole/1st applicant is a minor, no nomination is allowed) (Please ) I/We wish to Nominate I/We do not wish to Nominate I/We do hereby nominate the person(s) named below to receive the units allotted to my/our credit in my/our folio in the event of my/our death. I/We also understand that all payments and settlements made to Nominee(s), and signature(s) of the Nominee(s) acknowledging receipt thereof, will be noted as be a valid discharge by the AMC/Mutual Fund/ Trustee. This instruction supercedes all previous nominations made by me/us in respect of the folio indicated above. Name and Address of 1 st Nominee Name Allocation % Address Date of Birth D D M M Y Y Y Y (in case Nominee is a minor) State Guardian Name (in case Nominee is a minor) Country Pin Code City Signature of Guardian (if nominee is minor (Mandatory) Signature of the Nominee Name and Address of 2 nd Nominee Name Address Allocation % City Date of Birth D D M M Y Y Y Y (in case Nominee is a minor) State Guardian Name (in case Nominee is a minor) Country Pin Code Signature of Guardian (if nominee is minor (Mandatory) Signature of the Nominee Name and Address of 3 rd Nominee Name Address Allocation % City Date of Birth D D M M Y Y Y Y (in case Nominee is a minor) State Guardian Name (in case Nominee is a minor) Country Pin Code Signature of Guardian (if nominee is minor (Mandatory) Signature of the Nominee 11. DECLARATION & SIGNATURES I/We have read and understood the contents of the Scheme Information Document, Statement of Additional Information and Key Information Memorandum of the aforesaid Scheme(s) of L&T Mutual Fund including the sections on Who cannot invest, Foreign Account Tax Compliance Act (FATCA) / Common Reporting Standard (CRS) ( Reporting Guidelines ) and Important Note on Anti Money Laundering, Know-Your-Customer and Investor Protection. I/We hereby apply for allotment/purchase of Units in the Scheme(s) and agree to abide by the terms and conditions applicable thereto. I/We hereby declare that I/We am/are authorised to make this investment and that the amount invested in the Scheme(s) is through legitimate sources only and does not involve and is not designed for the purpose of any contravention or evasion of any Act, Rules, Regulations, Notifi cations or Directions issued by any authority in India. I/We hereby authorise L&T Mutual Fund ( the Fund ), its Investment Manager ( LTIM ) and its agents to disclose details of my investment to my bank(s)/ Fund s bank(s) and/or Distributor/Broker/Investment Adviser/any governmental or regulatory authority. The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing schemes of various Mutual Funds from amongst which the Scheme(s) is being recommended to me/us. I/We have neither received nor been induced by any rebate or gifts, directly or indirectly, in making this investment. I/We declare that the information given in this application form is correct, complete and truly stated. I/We accept and agree to abide by the terms and conditions (as mentioned on HYPERLINK http://www.lntmf.com www.lntmf.com) with respect to my/our dealings with L&T Mutual Fund/its Investment Manager through various channels. In case there is any change in the information (especially pertaining to Reporting Guidelines) already provided to LTIM / Fund, I/We agree that I/We shall inform the same to LTIM/Fund within 30 days of the change. I/We authorize updation of the records (including pertaining to the Reporting Guidelines) basis the information / documents received by LTIM/Fund/Registrar and Transfer Agent ( RTA ) from other SEBI Registered Intermediaries. I/We authorize LTIML/Fund/RTA, to share the information provided by me / us with other SEBI Registered Intermediaries to facilitate single submission /updation. I / We authorize LTIM/ Fund/RTA to provide relevant information to upstream payors to enable withholding to occur and pay out any sums from the my/our account or close or suspend my/our account(s) under intimation me/us. APPLICABLE FOR NON-ADVISORY TRANSACTIONS ONLY: I/We, hereby acknowledge and confi rm that the above transaction is Execution Only as explained vide SEBI Circular No. CIR/IMD/DF/13/2011 dated 22 August 2011. This investment is being made notwithstanding the advice of the appropriateness/inappropriateness of the same. On such transaction(s), I am not being charged any kind of transaction fee(s) by the AMFI registered distributor. On this transaction, the distributor would be compensated by the Mutual Fund House/Asset Management Company concerned in lines with the commission rate(s)disclosed by the distributor. *APPLICABLE FOR NRIs/PIOs/FIIs/FPIs INVESTING ON REPATRIATION BASIS ONLY: I/We confi rm that I am/we are Non-Resident(s) of Indian Nationality/Origin and that I/We have remitted funds from abroad through approved banking channels or from funds in my/our NRE/FCNR Account. I/We undertake that all additional purchases made under this folio will also be from funds received from abroad through approved banking channels or from funds in my/our NRE/FCNR Account. APPLICABLE FOR INVESTMENT THROUGH RIA (REGISTERED INVESTMENT ADVISER) : I/We hereby give you my/our consent to share/provide the transactions data feed/portfolio holdings/nav etc. in respect of my/our investments under Direct Plan to the above mentioned SEBI Registered Investment Adviser. D D M M Y Y Y Y 4 Sole/First Applicant/Guardian Second Applicant Third Applicant
Transaction Form For STP & SWP Please refer to the General Instructions for assistance. If you are not investing through a Distributor, write DIRECT in the Distributor Code. Distributor Code Sub-Distributor ARN EUIN Branch Code Relationship Manager s Name Time Stamp ARN- - 3280 Sub-Distributor Code Mobile +91- E-mail Initial Commission will be paid by the investor directly to the distributor, based on assessment of various factors including the service rendered by the Distributor. Transaction Charges SEBI (Mutual Fund) Regulations allow deduction of transaction charges of Rs. 100/- from your investment for payment to your distributor if your distributor has opted to receive transaction charges for investments sourced by him. The transaction charges deductible are Rs. 150/- if you are investing in Mutual Funds for the first time. If you are making a SIP Investment, the transaction charges would be deducted over 3-4 instalments. No transaction charges would be levied if you are not investing through a Distributor or your investment amount is less than Rs.10,000/- Investor s Declaration where EUIN is not furnished I/We confirm that the EUIN box has been intentionally left blank by me/us as this is an execution only transaction without any interaction or advice by the employee/relationship manager/ sales person of the above distributor and/or notwithstanding the advice of inappropriateness, if any, provided by the employee/relationship manager/sales person of distributor and the distributor has not charged any advisory fees on this transaction. If this is the first time, you are investing in any mutual fund, please tick here 1. APPLICANT INFORMATION Sole/1st Applicant 2nd Applicant 3rd Applicant Name of Sole/1st Unit Holder First Name Middle Name Last Name Folio No. PAN/PEKRN** First Unit Holder Second Unit Holder Third Unit Holder KIN^ First Unit Holder Second Unit Holder Third Unit Holder Date of Birth^ (1st Unit Holder) D D M M Y Y Y Y Date of Birth^ (2nd Unit Holder) D D M M Y Y Y Y Date of Birth^ (3rd Unit Holder) D D M M Y Y Y Y KYC is mandatory. Please enclose copies of KYC acknowledgement letters for all applicants. **PEKRN required for Micro investments upto Rs. 50,000 in a year. ^ 14 digit KYC Identification Number (KIN) and Date of Birth is mandatory for Individual(s) who has registered under Central KYC Records Registry (CKYCR). Mobile No. +91- E-mail ID 2. SYSTEMATIC WITHDRAWAL PLAN (SWP) - Please note that the value of the unit balance in the source scheme should be at least Rs. 25,000 Scheme Name L&T Option () Growth Dividend Reinvestment Dividend Payout Dividend Frequency (wherever applicable) Daily Weekly Monthly* Quarterly Annual^ Semi-Annual^ Withdrawal preference () Amount (`) OR Capital Appreciation (Available for GROWTH plan only) Withdrawal frequency () Monthly* Quarterly Semi-Annual Annual Withdrawal date () 1st 5th 10th* 15th 20th 25th Withdrawal period From M M Y Y Y Y To M M Y Y Y Y OR Till balance 3. SYSTEMATIC TRANSFER PLAN (STP) - Please note that the value of the unit balance in the source scheme should be at least Rs. 25,000 Scheme Name L&T Option () Growth Bonus^ Dividend Reinvestment Dividend Payout Dividend Frequency (wherever applicable) Daily Weekly Monthly* Quarterly Annual^ Semi-Annual^ To Scheme L&T Option () Growth* Dividend Reinvestment Dividend Payout Dividend Frequency (wherever applicable) Daily Weekly Monthly* Quarterly Annual^ Semi-Annual^ Transfer preference () Amount (`) OR Capital Appreciation (Available for GROWTH plan only) From M M Y Y Y Y To M M Y Y Y Y OR Till balance Transfer frequency () Daily Weekly () Mon* Tue Wed Thu Fri Fortnightly() 1st 15th* *Default option if not selected Monthly* Quarterly () 1st 5th 10th* 15th 20th 25th ^Available in select schemes only 4. DECLARATION & SIGNATURES (To be signed as per Mode of Holding) I/We have read and understood the respective Scheme Information Document, Statement of Additional Information and Key Information Memorandum. I/We have neither received nor been induced by any rebate or gifts, directly or indirectly in making this transaction. I/We understand that the upfront commission will be paid directly by me/us to the AMFI registered distributors based on my/our assessment of various factors including the service rendered by the distributor. Also, the AMFI registered distributor has disclosed the commissions to me/us (in trail commission or any other), payable to him for different schemes of mutual funds from amongst which the scheme is being recommended to me/us (Sole/First Unit Holder) (Second Unit Holder) (Third Unit Holder) ACKNOWLEDGEMENT SLIP (To be filled in by the Applicant) Folio No. Received from Name of the Sole/First Unit Holder Scheme/Plan/Option SWP Instalment amount Frequency() Monthly Quarterly STP Instalment amount Frequency() Monthly Quarterly Weekly Fortnightly For Offi ce Use Only Acknowledgement Stamp & Date 23
Transaction Form For STP & SWP Please refer to the General Instructions for assistance. If you are not investing through a Distributor, write DIRECT in the Distributor Code. Distributor Code Sub-Distributor ARN EUIN Branch Code Relationship Manager s Name Time Stamp ARN - 3280 Sub-Distributor Code Mobile +91- ARN- E-mail Initial Commission will be paid by the investor directly to the distributor, based on assessment of various factors including the service rendered by the Distributor. Transaction Charges SEBI (Mutual Fund) Regulations allow deduction of transaction charges of Rs. 100/- from your investment for payment to your distributor if your distributor has opted to receive transaction charges for investments sourced by him. The transaction charges deductible are Rs. 150/- if you are investing in Mutual Funds for the first time. If you are making a SIP Investment, the transaction charges would be deducted over 3-4 instalments. No transaction charges would be levied if you are not investing through a Distributor or your investment amount is less than Rs.10,000/- Investor s Declaration where EUIN is not furnished I/We confirm that the EUIN box has been intentionally left blank by me/us as this is an execution only transaction without any interaction or advice by the employee/relationship manager/ sales person of the above distributor and/or notwithstanding the advice of inappropriateness, if any, provided by the employee/relationship manager/sales person of distributor and the distributor has not charged any advisory fees on this transaction. If this is the first time, you are investing in any mutual fund, please tick here 1. APPLICANT INFORMATION Sole/1st Applicant 2nd Applicant 3rd Applicant Name of Sole/1st Unit Holder First Name Middle Name Last Name Folio No. PAN/PEKRN** First Unit Holder Second Unit Holder Third Unit Holder KIN^ First Unit Holder Second Unit Holder Third Unit Holder Date of Birth^ (1st Unit Holder) D D M M Y Y Y Y Date of Birth^ (2nd Unit Holder) D D M M Y Y Y Y Date of Birth^ (3rd Unit Holder) D D M M Y Y Y Y KYC is mandatory. Please enclose copies of KYC acknowledgement letters for all applicants. **PEKRN required for Micro investments upto Rs. 50,000 in a year. ^ 14 digit KYC Identification Number (KIN) and Date of Birth is mandatory for Individual(s) who has registered under Central KYC Records Registry (CKYCR). Mobile No. +91- E-mail ID 2. SYSTEMATIC WITHDRAWAL PLAN (SWP) - Please note that the value of the unit balance in the source scheme should be at least Rs. 25,000 Scheme Name L&T Option () Growth Dividend Reinvestment Dividend Payout Dividend Frequency (wherever applicable) Daily Weekly Monthly* Quarterly Annual^ Semi-Annual^ Withdrawal preference () Amount (`) OR Capital Appreciation (Available for GROWTH plan only) Withdrawal frequency () Monthly* Quarterly Semi-Annual Annual Withdrawal date () 1st 5th 10th* 15th 20th 25th Withdrawal period From M M Y Y Y Y To M M Y Y Y Y OR Till balance 3. SYSTEMATIC TRANSFER PLAN (STP) - Please note that the value of the unit balance in the source scheme should be at least Rs. 25,000 Scheme Name L&T Option () Growth Bonus^ Dividend Reinvestment Dividend Payout Dividend Frequency (wherever applicable) Daily Weekly Monthly* Quarterly Annual^ Semi-Annual^ To Scheme L&T Option () Growth* Dividend Reinvestment Dividend Payout Dividend Frequency (wherever applicable) Daily Weekly Monthly* Quarterly Annual^ Semi-Annual^ Transfer preference () Amount (`) OR Capital Appreciation (Available for GROWTH plan only) From M M Y Y Y Y To M M Y Y Y Y OR Till balance Transfer frequency () Daily Weekly () Mon* Tue Wed Thu Fri Fortnightly() 1st 15th* *Default option if not selected Monthly* Quarterly () 1st 5th 10th* 15th 20th 25th ^Available in select schemes only 4. DECLARATION & SIGNATURES (To be signed as per Mode of Holding) I/We have read and understood the respective Scheme Information Document, Statement of Additional Information and Key Information Memorandum. I/We have neither received nor been induced by any rebate or gifts, directly or indirectly in making this transaction. I/We understand that the upfront commission will be paid directly by me/us to the AMFI registered distributors based on my/our assessment of various factors including the service rendered by the distributor. Also, the AMFI registered distributor has disclosed the commissions to me/us (in trail commission or any other), payable to him for different schemes of mutual funds from amongst which the scheme is being recommended to me/us (Sole/First Unit Holder) (Second Unit Holder) (Third Unit Holder) ACKNOWLEDGEMENT SLIP (To be filled in by the Applicant) Folio No. Received from Name of the Sole/First Unit Holder Scheme/Plan/Option SWP Instalment amount Frequency() Monthly Quarterly STP Instalment amount Frequency() Monthly Quarterly Weekly Fortnightly For Offi ce Use Only Acknowledgement Stamp & Date 23
Transaction Form For STP & SWP Please refer to the General Instructions for assistance. If you are not investing through a Distributor, write DIRECT in the Distributor Code. Distributor Code Sub-Distributor ARN EUIN Branch Code Relationship Manager s Name Time Stamp Sub-Distributor Code Mobile +91- ARN- ARN - 3280 E-mail Initial Commission will be paid by the investor directly to the distributor, based on assessment of various factors including the service rendered by the Distributor. Transaction Charges SEBI (Mutual Fund) Regulations allow deduction of transaction charges of Rs. 100/- from your investment for payment to your distributor if your distributor has opted to receive transaction charges for investments sourced by him. The transaction charges deductible are Rs. 150/- if you are investing in Mutual Funds for the first time. If you are making a SIP Investment, the transaction charges would be deducted over 3-4 instalments. No transaction charges would be levied if you are not investing through a Distributor or your investment amount is less than Rs.10,000/- Investor s Declaration where EUIN is not furnished I/We confirm that the EUIN box has been intentionally left blank by me/us as this is an execution only transaction without any interaction or advice by the employee/relationship manager/ sales person of the above distributor and/or notwithstanding the advice of inappropriateness, if any, provided by the employee/relationship manager/sales person of distributor and the distributor has not charged any advisory fees on this transaction. If this is the first time, you are investing in any mutual fund, please tick here 1. APPLICANT INFORMATION Sole/1st Applicant 2nd Applicant 3rd Applicant Name of Sole/1st Unit Holder First Name Middle Name Last Name Folio No. PAN/PEKRN** First Unit Holder Second Unit Holder Third Unit Holder KIN^ First Unit Holder Second Unit Holder Third Unit Holder Date of Birth^ (1st Unit Holder) D D M M Y Y Y Y Date of Birth^ (2nd Unit Holder) D D M M Y Y Y Y Date of Birth^ (3rd Unit Holder) D D M M Y Y Y Y KYC is mandatory. Please enclose copies of KYC acknowledgement letters for all applicants. **PEKRN required for Micro investments upto Rs. 50,000 in a year. ^ 14 digit KYC Identification Number (KIN) and Date of Birth is mandatory for Individual(s) who has registered under Central KYC Records Registry (CKYCR). Mobile No. +91- E-mail ID 2. SYSTEMATIC WITHDRAWAL PLAN (SWP) - Please note that the value of the unit balance in the source scheme should be at least Rs. 25,000 Scheme Name L&T Option () Growth Dividend Reinvestment Dividend Payout Dividend Frequency (wherever applicable) Daily Weekly Monthly* Quarterly Annual^ Semi-Annual^ Withdrawal preference () Amount (`) OR Capital Appreciation (Available for GROWTH plan only) Withdrawal frequency () Monthly* Quarterly Semi-Annual Annual Withdrawal date () 1st 5th 10th* 15th 20th 25th Withdrawal period From M M Y Y Y Y To M M Y Y Y Y OR Till balance 3. SYSTEMATIC TRANSFER PLAN (STP) - Please note that the value of the unit balance in the source scheme should be at least Rs. 25,000 Scheme Name L&T Option () Growth Bonus^ Dividend Reinvestment Dividend Payout Dividend Frequency (wherever applicable) Daily Weekly Monthly* Quarterly Annual^ Semi-Annual^ To Scheme L&T Option () Growth* Dividend Reinvestment Dividend Payout Dividend Frequency (wherever applicable) Daily Weekly Monthly* Quarterly Annual^ Semi-Annual^ Transfer preference () Amount (`) OR Capital Appreciation (Available for GROWTH plan only) From M M Y Y Y Y To M M Y Y Y Y OR Till balance Transfer frequency () Daily Weekly () Mon* Tue Wed Thu Fri Fortnightly() 1st 15th* *Default option if not selected Monthly* Quarterly () 1st 5th 10th* 15th 20th 25th ^Available in select schemes only 4. DECLARATION & SIGNATURES (To be signed as per Mode of Holding) I/We have read and understood the respective Scheme Information Document, Statement of Additional Information and Key Information Memorandum. I/We have neither received nor been induced by any rebate or gifts, directly or indirectly in making this transaction. I/We understand that the upfront commission will be paid directly by me/us to the AMFI registered distributors based on my/our assessment of various factors including the service rendered by the distributor. Also, the AMFI registered distributor has disclosed the commissions to me/us (in trail commission or any other), payable to him for different schemes of mutual funds from amongst which the scheme is being recommended to me/us (Sole/First Unit Holder) (Second Unit Holder) (Third Unit Holder) ACKNOWLEDGEMENT SLIP (To be filled in by the Applicant) Folio No. Received from Name of the Sole/First Unit Holder Scheme/Plan/Option SWP Instalment amount Frequency() Monthly Quarterly STP Instalment amount Frequency() Monthly Quarterly Weekly Fortnightly For Offi ce Use Only Acknowledgement Stamp & Date 23
Switch Transaction Form Folio No. : PAN (1st Holder) : I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of the Switch-In A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig Switch Transaction Form Folio No: PAN (1st Holder): I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of he Switch-In A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig
Switch Transaction Form Folio No. : PAN (1st Holder) : I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of the Switch-In A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig Switch Transaction Form Folio No: PAN (1st Holder): I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of he Switch-In A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig
Switch Transaction Form Folio No. : PAN (1st Holder) : I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of the Switch-In A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig Switch Transaction Form Folio No: PAN (1st Holder): I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of he Switch-In A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig
Switch Transaction Form Folio No. : PAN (1st Holder) : I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of the Switch-In A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig Switch Transaction Form Folio No: PAN (1st Holder): I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of he Switch-In A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig
Switch Transaction Form Folio No. : PAN (1st Holder) : I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of the Switch-In A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig Switch Transaction Form Folio No: PAN (1st Holder): I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of he Switch-In A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig
Redemption Transaction Form Folio No. : PAN (1st Holder) : Redemption Request: I /We wish to redeem Rs. Or Units Caution:Please ensure that your bank details already registered in the Folio are correct and updated. If not, kindly comply with the formalities for Change of Bank details before proceeding with the Redemption of units. I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of the Switch-In hereby apply to the Trustee of the Mutual Fund and agree to abide by the terms and conditions, rules and regulations of the relevant scheme(s)/mutual Fund(s). I/We have neither received nor been induced by any rebate or gifts, directly or indirectly in making this investment. The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable for the different competing Schemes of various Mutual Funds from amongst which this Scheme is being recommended to me/us. I/We hereby confirm that I/we have not been offered / communicated any indicative portfolio and/or any indicative yield by the respective Mutual Fund / its distributor for this investment. I/We am/are authorized to undertake this transaction. A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig the service rendered by the ARN Holder. Redemption Transaction Form Folio No: Redemption Request: PAN (1st Holder): I /We wish to redeem Rs. Or Units Caution:Please ensure that your bank details already registered in the Folio are correct and updated. If not, kindly comply with the formalities for Change of Bank details before proceeding with the Redemption of units. I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of he Switch-In hereby apply to the Trustee of the Mutual Fund and agree to abide by the terms and conditions, rules and regulations of the relevant scheme(s)/mutual Fund(s). I/We have neither received nor been induced by any rebate or gifts, directly or indirectly in making this investment. The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable for the different competing Schemes of various Mutual Funds from amongst which this Scheme is being recommended to me/us. I/We hereby confirm that I/we have not been offered / communicated any indicative portfolio and/or any indicative yield by the respective Mutual Fund / its distributor for this investment. I/We am/are authorized to undertake this transaction. A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig the service rendered by the ARN Holder.
Redemption Transaction Form Folio No. : PAN (1st Holder) : Redemption Request: I /We wish to redeem Rs. Or Units Caution:Please ensure that your bank details already registered in the Folio are correct and updated. If not, kindly comply with the formalities for Change of Bank details before proceeding with the Redemption of units. I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of the Switch-In hereby apply to the Trustee of the Mutual Fund and agree to abide by the terms and conditions, rules and regulations of the relevant scheme(s)/mutual Fund(s). I/We have neither received nor been induced by any rebate or gifts, directly or indirectly in making this investment. The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable for the different competing Schemes of various Mutual Funds from amongst which this Scheme is being recommended to me/us. I/We hereby confirm that I/we have not been offered / communicated any indicative portfolio and/or any indicative yield by the respective Mutual Fund / its distributor for this investment. I/We am/are authorized to undertake this transaction. A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig the service rendered by the ARN Holder. Redemption Transaction Form Folio No: Redemption Request: PAN (1st Holder): I /We wish to redeem Rs. Or Units Caution:Please ensure that your bank details already registered in the Folio are correct and updated. If not, kindly comply with the formalities for Change of Bank details before proceeding with the Redemption of units. I/We here ofir that the EUIN o has ee itetioall left lak e/us as this is a eeutio-ol trasatio ithout a iteratio or adie the If my/our unit/amount balance is inadequate to meet the request, I/We authorize you to switch out available units subject to minimum amount requirements of he Switch-In hereby apply to the Trustee of the Mutual Fund and agree to abide by the terms and conditions, rules and regulations of the relevant scheme(s)/mutual Fund(s). I/We have neither received nor been induced by any rebate or gifts, directly or indirectly in making this investment. The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable for the different competing Schemes of various Mutual Funds from amongst which this Scheme is being recommended to me/us. I/We hereby confirm that I/we have not been offered / communicated any indicative portfolio and/or any indicative yield by the respective Mutual Fund / its distributor for this investment. I/We am/are authorized to undertake this transaction. A other adisor harges shall e paid diretl the iestor to the ARN Holder AMFI registered Distriutor ased o the iestors assesset of arious fators iludig the service rendered by the ARN Holder.